DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S•••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170575SEC 801-79236IAPD
Latest filing Jan 29, 2024
First filing on the tape Feb 14, 2014 · 35 filings
RAUM
$19.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$19.0M as of Mar 31, 2023
Mar 31, 2015$48.0M then
HNW client RAUM$0 as of Mar 31, 2023
Feb 7, 2018$35.2M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 31, 20150 then
Employees (5.A)5 as of Mar 31, 2023
Mar 31, 20158 then
Private funds1 as of Mar 11, 2021
Mar 29, 20171 then
RAUM -92% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$19.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-92%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$19.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• F••• L•no longer reportedHedge Fund$00Mar 29, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• J••••• J••• · Chief Financial Officercontrol
        since 01/2023 · owns less than 5%
      • S••••• A•••••• A••••••• · Chairman And Chief Compliance Officercontrol
        since 01/2023 · owns less than 5%
      • S••••• A•••••• A••••••• · Elected Managercontrol
        since 06/2020 · owns 25% to 50% of S••••••• R••• F•••••••• P•••••••• L••
      • C••••• J•••• E••••• · Elected Manager
        since 06/2020 · owns F of S••••••• R••• F•••••••• P•••••••• L••
      • P••••••• G••••••• A•••• · Elected Manager
        since 06/2013 · owns F of S••••••• R••• F•••••••• P•••••••• L••
      Entity owners
      • S••••••• R••• A•••• M••••••••• L•• · Owner
        direct · owns 75% or more
      • S••••••• R••• F•••••••• P•••••••• L•• · Owner
        indirect · owns 75% or more of S••••••• R••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list S•••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 108 to 1
        Feb 23, 2023 to Mar 31, 2023
      • Advisory activities · 3 to 1
        Feb 23, 2023 to Mar 31, 2023
      • Charity clients · 1 to 0
        Feb 23, 2023 to Mar 31, 2023
      • Corporate clients · 1 to 0
        Feb 23, 2023 to Mar 31, 2023
      • HNW clients · 30 to 0
        Feb 23, 2023 to Mar 31, 2023
      • Individual clients · 62 to 0
        Feb 23, 2023 to Mar 31, 2023
      • Discretionary RAUM · $224M to $19.0M
        Feb 23, 2023 to Mar 31, 2023
      • HNW RAUM · $137M to $0
        Feb 23, 2023 to Mar 31, 2023
      • Individual RAUM · $56.2M to $0
        Feb 23, 2023 to Mar 31, 2023
      • Non-discretionary RAUM · $27.2M to $0
        Feb 23, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $20.8M to $19.0M
        Feb 23, 2023 to Mar 31, 2023
      • RAUM · $251M to $19.0M
        Feb 23, 2023 to Mar 31, 2023
      • Advisory employees · 5 to 0
        Dec 1, 2022 to Feb 23, 2023
      • Employees · 8 to 5
        Dec 1, 2022 to Feb 23, 2023
      • Related adviser · false to true
        Dec 1, 2022 to Feb 23, 2023
      • Accounts · 80 to 108
        Dec 16, 2021 to Mar 22, 2022
      • Advisory employees · 6 to 5
        Dec 16, 2021 to Mar 22, 2022
      • HNW clients · 53 to 30
        Dec 16, 2021 to Mar 22, 2022
      • Individual clients · 22 to 62
        Dec 16, 2021 to Mar 22, 2022
      • Pooled vehicle clients · 2 to 1
        Dec 16, 2021 to Mar 22, 2022
      • Employees · 10 to 8
        Dec 16, 2021 to Mar 22, 2022
      • Private funds · 1 to unset
        Dec 16, 2021 to Mar 22, 2022
      • Discretionary RAUM · $194M to $224M
        Dec 16, 2021 to Mar 22, 2022
      • HNW RAUM · $121M to $137M
        Dec 16, 2021 to Mar 22, 2022
      • Individual RAUM · $6.1M to $56.2M
        Dec 16, 2021 to Mar 22, 2022
      • Non-discretionary RAUM · $0 to $27.2M
        Dec 16, 2021 to Mar 22, 2022
      • Pooled vehicle RAUM · $23.4M to $20.8M
        Dec 16, 2021 to Mar 22, 2022
      • RAUM · $194M to $251M
        Dec 16, 2021 to Mar 22, 2022
      • Accounts · 67 to 80
        Jun 4, 2020 to Mar 11, 2021
      • Advisory employees · 7 to 6
        Jun 4, 2020 to Mar 11, 2021
      • Advisory activities · 2 to 3
        Jun 4, 2020 to Mar 11, 2021
      • Charity clients · 0 to 1
        Jun 4, 2020 to Mar 11, 2021
      • Corporate clients · 3 to 1
        Jun 4, 2020 to Mar 11, 2021
      • HNW clients · 38 to 53
        Jun 4, 2020 to Mar 11, 2021
      • Individual clients · 21 to 22
        Jun 4, 2020 to Mar 11, 2021
      • Pooled vehicle clients · 0 to 2
        Jun 4, 2020 to Mar 11, 2021
      • Employees · 9 to 10
        Jun 4, 2020 to Mar 11, 2021
      • Other offices · 1 to 0
        Jun 4, 2020 to Mar 11, 2021
      • Private funds · unset to 1
        Jun 4, 2020 to Mar 11, 2021
      • Discretionary RAUM · $106M to $194M
        Jun 4, 2020 to Mar 11, 2021
      Signals
      14 dated events
      • Mclean Andrew Daly (Chief Operating Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2024-01-29)
        Jan 29, 2024 · Control person left · inference
      • Meredith Jennifer Shields (General Counsel And Chief Compliance Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2024-01-29)
        Jan 29, 2024 · Control person left · inference
      • J Marc Brookman (Chief Executive Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2024-01-29)
        Jan 29, 2024 · Control person left · inference
      • S•••••• A•••• M••••••••• L•• reported RAUM $19.0M, down 92% from $250.7M (2023-02-23 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Chapman Blakely Page (Member) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2023-02-23, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Alasdair Andrew Smith (Chairman) appeared on Schedule A of S•••••• A•••• M••••••••• L••
        Feb 23, 2023 · Control person joined · fact
      • Mclean Andrew Daly (Chief Operating Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••
        Feb 23, 2023 · Control person joined · fact
      • Meredith Jennifer Shields (General Counsel) appeared on Schedule A of S•••••• A•••• M••••••••• L••
        Feb 23, 2023 · Control person joined · fact
      • J Marc Brookman (Chief Executive Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••
        Feb 23, 2023 · Control person joined · fact
      • John James Mcdermott (Chief Financial Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••
        Feb 23, 2023 · Control person joined · fact
      • Chapman Blakely Page (Member) appeared on Schedule A of S•••••• A•••• M••••••••• L••
        Feb 23, 2023 · Control person joined · fact
      • Peirce William Stewart (Chairman) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2022-12-01, absent 2023-02-23)
        Feb 23, 2023 · Control person left · inference
      • Mark Thomas Valenzuela (Owner) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2022-12-01, absent 2023-02-23)
        Feb 23, 2023 · Control person left · inference
      • W•• A••••••• L••• filed its initial SEC registration (Form ADV)
        Feb 14, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026